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Work Background
LexisNexis Risk Solutions GroupProduct Principle - Insurance Market Education
Dec. 2021
QBE North AmericaCompliance Officer
Mar. 2019 - Dec. 2021Remote• Maintain oversight of compliance controls as part of the risk assessment process, implement new controls to address program gaps
• Research, interpret relevant insurance regulations to identify; document specific compliance obligations to ensure operations are compliant
• Provide regulatory oversight for all business functions, including cybersecurity, privacy, third party risks, licensing
• Analyze & prepare reports for senior mgmt and the board that reflect key metrics for measuring program effectiveness
• Manage compliance issues that arise, including driving remediation activities, identification of root causes and reporting on related outcomes
• Develop controls, procedures and system solutions to enhance the effectiveness
• Conduct monitoring/testing to ensure compliance programs are working effectively and requirements are being adhered to
• Improve training programs to ensure the organization understands applicable compliance risk areas
• Maintain detailed compliance risk assessments that address the relevant compliance risk areas
• Assess potential risks to objectives and take action to remove or reduce impact or probability of the risk occurring; report and undertake formal risk or control assessments
• Apply data analytics to advance the objectives of the compliance program
• Build and maintain strong and effective relationships with key internal and external business stakeholders to ensure that service delivery meets expectations
• Serve as a consulting level professional, working with multiple business areas and/or business topics to review and evaluate corporate compliance issues/concerns within the organization.
• Deliver compliance management information to senior leaders including contributing to board and committee reports/packs to ensure management are up to date and aware of key issues
Milner & Associates Regulatory Compliance ConsultingPresident
Dec. 2016 - Apr. 2019Marietta, GAI partnered with regulators, agencies and companies to ensure consumer protection through ethical compliance with the letter and spirit of each state’s laws and regulations. I provided a comprehensive array of services to assist my clients in achieving their regulatory compliance goals. As a compliance professional, I offered expert services in Life, Accident and Sickness lines of business, as well as HIPAA and privacy matters.
AltisourceSr. Manager, Corporate Compliance, Insurance Services, Vendor Management Oversight
Jun. 2016 - Apr. 2017Greater Atlanta AreaResponsible for legal/regulatory oversight to ensure compliance and mitigation of risks. Leverage knowledge of federal, state and local laws, regulations, GSE guidelines and client requirements to develop an applicable law matrix and ensure adherence for each business unit supported to include Human Resources, Vendor Management, Insurance Services, and Audit. • Conduct legal/regulatory research using sources, such as Westlaw or state websites, to assess applicability of laws/regulations to business functions
• Perform risk assessments to identify, rank and mitigate risks
• Review, advise and approve all regulatory matters related to insurance (licensing, advertising, HIPAA, premium collection, policy delivery, etc.), human resources/labor laws, and third-party vendors
• Coordinate regulatory, legal and compliance projects to fulfill due diligence requests, exams, audits and CFPB preparedness
• Design effective controls and appropriately map to associated risks to ensure compliance with regulatory and contractual requirements
• Devise and maintain control-based testing methodology and collaborate with operations to ensure compliance • Oversee business unit’s legal and contractual compliance and assess performance, reporting regularly on results to create visibility and transparency to executive leadership
• Develop and drive implementation of corrective action plans and mitigation strategies as needed when gaps, violations, or non-conformances are identified
• Review and respond to inquiries from state and local regulators, including CFPB and departments of insurance
• Continuously identify areas of deficiency and develop creative solutions for process improvement
• Manage and approve forms, templates and documents and establish policies and procedures
• Gather data and generate reports detailing compliance metrics in a timely and accurate manner
• Utilize various technology platform on a day-to-day basis
GreenSky®Sr. Manager
Mar. 2015 - Jun. 2016Greater Atlanta AreaAdministration of daily operations of the Customer Resolution and Dispute/Chargeback teams to oversee resolution of customer and regulatory complaints and escalation of inquiries related to customer service, customer protection, merchant management, and sales. • Deliver leadership, coordination, and education to the Customer Resolution and Dispute/Chargeback front-line managers located in two company facilities • Develop compliance programs and management controls to ensure business unit adherence to compliance procedures; develop audit processes to monitor behavior, identify improvement opportunities, and develop corrective action plans
• Oversee daily operations to manage timely resolution of escalated customer complaints (via CFPB, Attorneys General, BBB, bank partners, and other regulatory agencies) and to ensure department’s compliance with KPI metrics
• Collaborate with Workforce Management and Legal and Compliance departments to ensure regulatory compliance, and to interpret and apply industry law (Fair Credit Trade Act, and other applicable banking and credit laws/regulations), and interpret and apply MasterCard Dispute rules and regulations
• Provide feedback on departmental performance to internal management, and handle regular reporting to company banking partners • Serve as a subject matter expert to provide professional advice and guidance, to assign tasks, and to give instructions
• Foster team professional development though designing training materials in collaboration with Learning and Development staff
• Assist QA with enhancement of service delivery in complaint resolution and call center operations
• Stay abreast of latest industry trends and legislation to provide excellent customer advocacy • Display understanding of company products, operational processes, and systems while initiating improvement solutions to reduce customer complaints
AflacSupervisor, Risk Management
Nov. 2007 - Mar. 2012Leads, motivates, and coaches individuals in the department's compliance and risk management unit in the development, implementation, and monitoring of regulatory compliance plans including evaluations of state and federal regulations, assessing organizational compliance, preparing periodic reports for senior management, and monitoring corrective actions; provides consistent and constructive feedback to employees; maintains employee personnel records, monitors the progress of employees, and identifies training needs; establishes priorities, schedules daily work, and recommends promotions and terminations
Directs efforts of team to implement process improvement initiatives that support compliance with regulations and determine measurement benchmarks; coordinates compliance and audit reviews; ensures consistent procedures are developed and implemented to guard against improper business activities, or to identify areas of potential risk; ensures that procedures remain current and are consistently followed; ensures compliance training is conducted; ensures data and statistics are captured, maintained, tracked, trended, and reported
Supervises employees within the team to ensure that quality, risk management, and goals are met; establishes priorities and schedules daily work assignments to ensure that processing/completion of requests meets established goals; assists employees with problems and questions; identifies process/procedure enhancements and makes recommendations for improvement
Acts as department's liaison, working in conjunction with Internal Audit, Compliance, Legal, and other relevant internal and external customers, managing in-house audit and compliance programs and initiatives
AflacManager, Market Conduct/regulatory Compliance
Dec. 2000 - Mar. 2015•Establish trust, rapport and productive relationships at all levels within the organization to ensure decisions are in the best interest of customers & the company.•Liaise with industry/govt agencies&insurance departments to resolve issues, interpret, clarify &apply laws/regulations, respond to regulatory inquiries&audit investigations, &negotiate settlement agreements.•Display effective leadership skills through communications & by utilizing strong critical thinking abilities to evaluate issues, identify trends/changes, monitor regulatory, legislative, &customer issues.•Direct responsibility for analyzing relevant data, preparing trend analysis, &developing/implementing strategic/tactical plans to ensure goals are achieved.•Evaluate projects to determine cost, benefits, and feasibility and prepare recommendations for implementation as well as review processes to streamline activities to enhance service turnaround time, productivity, and quality.•Maintain knowledge of key legislative/regulatory changes in the industry&diverse state-specific regulations, policies, mandates, &reporting deadlines through monitoring of bulletins, regulation notices, etc.•Partner with Government Relations staff &lobbyists to identify, amend, and/or draft legislation to create positive business results for the Company.•Review company practices, statistical reports, &emerging trends to identify suspected fraudulent activity and questionable practices.•Oversee risk identification, evaluation, and mitigation, develop, implement, &manage workflow processes &reporting to support compliance initiatives; respond to regulatory investigations &audits.•Conduct regulatory risk assessments; advise business owners to ensure corporate compliance &minimize negative exposure.•Coach, mentor, &develop employees ;develop succession planning for all key roles.•Attends, presents and participates in professional and industry Association meetings, seminars, and conferences (NAIC, IRES, ACLI, AICP, ICAE).
AflacOperations Analyst II
Dec. 2000 - Nov. 2007Development & formulation of strategic long-range &short-range plans, process improvement, & resource management; assist w/plans, designs, & documentation for division/department performance measurement systems; leads/facilitates team-based improvement projects;Researches, plans, organizes, &conducts needs analyses to determine division resource needs, provides statistical &other relevant information for planning activities; coordinates process measurement requirements to ensure efficient &effective use of department resources; modifies planning, forecasting, budgeting, &reporting processes; assists with &provides primary &secondary data for organization structure analysis, work process analysis, process mapping, &project development;perform research for special projects as assigned; acts as a liaison between divisions; planning division’s annual budget, division restructuring &re-engineering, &activities &events;prepares logistical &statistical productivity, financial reports, etc
St. Francis HospitalAdmin Asst
Jun. 1998 - Dec. 2000Responsibilities include preparation and analysis of monthly budget, volume and physician activity reports. Also responsible for preparation and analysis of planning tools including demographics, market share and utilization projections. Serve on Marketing Committee and responsible for the monitoring of a $500,000 marketing budget. In addition, maintain secretarial responsibilities for Vice President – Strategic Development & Support Services
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